DFX Intelligence

C•••••••• L• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

C•••••••• L• M••••••

Advisor at C••••••••• F•••••••• N••••••

Waltham, MA | WALTHAM, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f592691d-8c74-d829-5958-7ce6a3225351

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 24, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Oct 19, 2015	n/a	yes	WALTHAM, MA\|Waltham, MA\|Waltham, MA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jan 31, 2011	Oct 9, 2015	no	WALTHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•••• F•••••••• S••••••• G••••• I•••	C••••••••• F•••••••• N••••••	May 21, 2010	Jan 31, 2011	255	Firm change	Other
I••••••••• A••••••• C•••	U•••• F•••••••• S••••••• G••••• I•••	May 20, 2009	Jun 18, 2009

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jan 31, 2011 to Oct 9, 2015factForm ADV
→ U•••• F•••••••• S••••••• G••••• I•••Registered adviserregistration: previous registration
Jun 18, 2009 to May 21, 2010factForm ADV
→ I••••••••• A••••••• C•••Registered adviserregistration: previous registration
Jul 16, 2008 to May 20, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f592691d-8c74-d829-5958-7ce6a3225351
First observed: Jul 16, 2008
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.